Nestor J. Olivier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nestor Joseph Olivier was a registered financial professional .
Nestor is a previously registered financial professional and started their career in finance in 1980. Nestor had worked at 5 firms and has passed the Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2006 - December 21, 2007
DUBLIND SECURITIES, INC.
December 1, 1993 - September 14, 2006
DUBLIND SECURITIES, INC.
November 12, 1987 - October 10, 1990
SBC WARBURG DILLON READ INC.
June 29, 1987 - November 24, 1987
J.P. MORGAN SECURITIES LLC
July 13, 1983 - July 24, 1987
GOLDMAN SACHS & CO. LLC
February 21, 1980 - September 19, 1981
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DUBLIND SECURITIES, INC.
CRD#: 32534 / SEC#: , 8-45721
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUBROFF, CHARLES MARK | CHAIRMAN | |
| LINDSAY, CHARLES JOHN | PRESIDENT | 813145 |
| LINDSAY, GEORGE PETER | SENIOR VICE PRESIDENT |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
